NAMA held a webinar on Thursday, July 26 at 2ET that reviewed and discussed MA Firm Supervisory Procedures.  The webinar provided an overview of MSRB Rules and NAMA and MSRB resources to assist MA firms comply with supervisory responsibilities.

Click HERE to view the recorded presentation.

Webinar Presentation

NAMA Resource:  MA Compliance Reminders

MSRB Resources:

WSP Template and Checklist

Considerations for Developing a Supervisory System and Compliance Program

Outsourcing Compliance Functions

Q&A Summary:  MSRB Compliance Workshop on Small Firm MA Supervision

Compliance Workshop:  Small Firm MA Supervision (bottom of page)